Our Unique Vision

Saxony is a unique broker dealer: we are an independent, privately owned firm that has built a comprehensive model while still offering autonomy. Saxony’s founders are experienced investment professionals that established our broker dealer to create an objective, transparent and independent platform where financial advisors could service their clients.

Financial advisors and their clients do not want to be just another number. Saxony was established to address the systematic problem that has troubled financial advisors and their clients for many years; large, vertically structured brokerage firms that claim to be “main street” oriented. When in reality, they tend to be manufacturers and distributors of specific financial products and platforms that cater to their bottom line.

At Saxony we are striving to reform this problem by getting back to business on a personal and individual level. When our independent financial advisors or their clients call Saxony’s home office, they are not forwarded to a long list of menu options. They speak with a live receptionist who is able to direct them to one of our staff members. Our staff is cross trained to assist you right away instead of being transferred from department to department in order get the right answer.

  • Our compliance team is proactive and thorough, to help our financial advisors navigate and understand their regulatory requirements.  Each of our independent financial advisors is assigned a compliance field supervisor that is able to assist them quickly and efficiently.
  • Saxony’s operations team consists of staff that is dedicated not only to proficient new account opening, transfers, and asset movement, but to provide a high level of service to those clients once they are here.
  • Our trading desk consists of industry veterans who are able to effectively assist you with bond, equity, option, and mutual fund coordination.
  • Our transition and business development team works with financial advisors who join our firm on a one-on-one basis. Transitioning of the business that our financial advisors have built is one of the singularly most important factors that Saxony focuses on. Your transition specialist is your point person for ensuring that all items are addressed and continuously followed up on.
  • Saxony’s technical support department stands ready to assist you with whatever technology challenges come your way. By employing our own technical support team and not outsourcing this function we are able to provide turn-key solutions to your technology needs.

Saxony was founded on one simple belief:

Provide exceptional investment management services for advisors and their clients